0001127602-23-020387.txt : 20230706 0001127602-23-020387.hdr.sgml : 20230706 20230706160235 ACCESSION NUMBER: 0001127602-23-020387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230705 FILED AS OF DATE: 20230706 DATE AS OF CHANGE: 20230706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALEXANDER JOHN E CENTRAL INDEX KEY: 0001074514 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 231073565 MAIL ADDRESS: STREET 1: THE COMMONS STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14851 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TOMPKINS FINANCIAL CORP CENTRAL INDEX KEY: 0001005817 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 161482357 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 118 E SENECA STREET STREET 2: P.O. BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 BUSINESS PHONE: 607-274-2078 MAIL ADDRESS: STREET 1: 118 E. SENECA STREET STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS TRUSTCO INC DATE OF NAME CHANGE: 19990512 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS COUNTY TRUSTCO INC DATE OF NAME CHANGE: 19960117 4 1 form4.xml PRIMARY DOCUMENT X0407 4 2023-07-05 0001005817 TOMPKINS FINANCIAL CORP TMP 0001074514 ALEXANDER JOHN E TOMPKINS FINANCIAL CORPORATION PO BOX 460 ITHACA NY 14851 1 0 Phantom Stock 2023-07-05 4 A 0 241.943 56.5215 A Common Stock 241.943 22551.887 D Phantom Stock 2023-07-05 4 A 0 116.327 56.5215 A Common Stock 116.327 22668.214 D Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution. Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution. /s/John E. Alexander 2023-07-06